Internal Food Safety Audits- Offline Assessment Activities Course assessment cover ... ·...

SAI GLOBAL LIMITED

Document Name: INTERNAL FOOD SAFETY AUDITOR Online Course Assessment ALL REGIONS

Document ID: SAI-EDFX 24. 02 0515 Date of Issue: 1 May 2015

Course assessment cover sheet

Title Mr Mrs Ms Miss Other

Name

Phone

Email

Name of course

Date

Assessor to indicate units of competency related to this assessment.

Exemplar Global: AU Management Systems Auditing

(Australia only) FDFAU4001A Assess compliance with food safety program

(Australia only) BSBAUD402 Participate in a Quality Audit

IRCA

Declaration

I hereby state that the work submitted as part of my application for assessment:

Complies with all privacy and confidentiality legislation and

Is my own work.

I understand that any plagiarism of others’ work and/or failure to acknowledge contributions may have serious consequences in relation to this assessment. Where work has been undertaken in collaboration with others, or where I have referenced other materials, this has been acknowledged and the extent of the contributions has been made explicit.

Internal Food Safety Audits- Offline Assessment Activities

SAI GLOBAL LIMITED



Please place an “x” in the box to accept this declaration and print your name below:

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Name: ______________________________________

Do you have any special needs or requirements that your assessor should be aware of?

If so, please contact the regional SAI Global Education and Training Customer Service to discuss this in confidence.

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Americas - [email protected]

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Your personal information is protected by law. The information you provide on this form will be used by SAI Global to assess your

competence for the purpose of issuing qualifications and Statements of Attainment. All personal information collected will be maintained in

accordance with the SAI Global Privacy Policy and Training Code of Practice.

mailto:[email protected]



SAI GLOBAL LIMITED



To be completed by assessor only

Assessment Progress Summary Record

Record the progress of the assessment by recording specific activities and the dates they occurred

Assessor name

ASSESSMENT PART 1: ONLINE WRITTEN ASSESSMENT ACTIVITIES

Date Assessment Activity One

Date Received by Assessor

Satisfactory Not Satisfactory

Date Assessment Activity Two



Date Assessment Activity Three



Date Assessment Activity Four



Date Assessment Activity Five



Date Assessment Activity Six

SAI GLOBAL LIMITED





ASSESSMENT PART 2: GENERAL QUESTIONS

Date Questions 1 - 26

Questions 1 2 3 3A 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26

Marks awarded

Possible

5 5 10 12 5 5 5 10 5 5 10 10 10 1 1 1 1 1 1 10 5 5 5 5 1 1 5

Score Total: /140 Percentage: %

ASSESSMENT PART 3: AUSTRALIA ONLY – POST COURSE ASSESSMENT

Date Workplace Evidence Item 1 - Audit Plan – for a food safety management systems audit



Date Workplace Evidence Item 2 - Audit Report – for a food safety management systems audit



Date Workplace Evidence Item 3 - Supplementary Workplace Evidence – submission of a third party report



SAI GLOBAL LIMITED



Assessment Outcome

Competent Not Yet Competent

Assessor feedback:

Assessment outcome advised to participant

Review and reassessment undertaken (where applicable)

Received by SAI Global office

Results entered

SAI GLOBAL LIMITED



INTERNAL FOOD SAFETY AUDITOR

ONLINE COURSE ASSESSMENT


POST COURSE ASSESSMENT GUIDE

www.saiglobal.com | 7

SECTION ONE: ABOUT YOUR ASSESSMENT




INTERNAL FOOD SAFETY AUDITOR:

ONLINE ASSESSMENTS

UNITS OF COMPETENCY: ALL REGIONS

This course is linked to: Exemplar Global – AU Management Systems Auditing

The content of this competency can be found in Section 5 of this document.

UNITS OF COMPETENCY: AUSTRALIA ONLY

In addition to the above Exemplar Global unit of competency, this course is linked to the following units from the Australian Qualifications Framework: BSBAUD402 Participate in a Quality Audit FDFAU4001A Assess compliance with food safety programs

The content of these competencies can be found in Section 5 of this document.

INSTRUCTIONS

ASSESSMENT REQUIREMENTS

To be deemed competent in this course you will need to complete all relevant assessment tasks. All tasks must be deemed satisfactory by the assessor to ensure successful completion of the course and the attainment of the relevant unit of competency.

NB: This assessment has been designed to measure an individual against the learning outcomes and assessment criteria. Therefore each person undertaking this assessment is required to develop and submit their own work.

Participants who do not want to attempt the assessment and would like a Statement of Attendance only should contact our customer service team and this can be issued manually.

NOTE

If your organisation has internal audit procedures in place the work presented in this assessment must be your own work. If you use previously developed work documents you must provide a review and update of the documents. Please ensure confidentiality principles are applied and that no reference to your actual company is included.

SUBMISSION OF ASSESSMENTS

Please refer to the support document; SAI Global Guideline for submitting Online Assessment which outlines how to submit your online course assessment to SAI Global.




STUDENT SUPPORT

If you have any issues with the assessment tasks, would like support completing the assessments or would like flexible adjustment of the assessment tasks please talk with your facilitator or client services.

AWARD: ALL REGIONS

All regions: If the assessment has been successfully completed and assessed competent, a Certificate of Attainment for the above unit of competency from Exemplar Global will be issued.

AWARD: ALL AUSTRALIA ONLY

Australia only: If the assessment has been successfully completed and assessed competent, a Certificate of Attainment for the above unit of competency from Exemplar Global as well as from; the Business Services and Food Industry training packages will be issued.

Note:

All assessment items including the post course assessment must be submitted to sharepoint at the same time. Refer to the SAI Global Guideline for submitting Online Assessment which outlines how to submit your online course assessment to SAI Global.

For Australian students NOT WANTING TO COMPLETE THE POST COURSE ASSESSMENT and ONLY WANTING TO BE ISSUED WITH THE EXEMPLAR GLOBAL unit of competency, please contact customer service;

Telephone Australia: 1300 727 444 Email: [email protected]





SUMMARY OF ASSESSMENT

PART 1: Online Written Assessment Activities

Detailed Description

Instructions

There are six practical assessment activities contained in the online course. These must all be successfully completed in order to gain the relevant unit(s) of competency. Your answers will be assessed against the criteria outlined at the beginning of each assessment activity

Assessment Activity 1: Prepare an Audit Plan

Assessment Activity 2: Prepare a Checklist

Assessment Activity 3: Compliance Audit

Assessment Activity 4: Classify Non-Conformities

Assessment Activity 5: Generate CARs

Assessment Activity 6: Create an Audit Report

PART 2: General Questions


Instructions

A series of 26 short answer/multiple choice and scenario based questions based on what you have learnt during the IFSA course. This part of the assessment will be marked out of 140 points. Each question has been assigned a number of points as indicated.

PART 3: AUSTRALIA ONLY – Post Course Assessment


Instructions A series of 3 post course assessment tasks for completion to attain the two Australian units of competency;

BSBAUD402 Participate in a Quality Audit FDFAU4001A Assess compliance with food safety programs

Note:


This part of your assessment will be assessed against the criteria as outlined in section 4 of this document.

For Australian students NOT WANTING TO COMPLETE THE POST COURSE ASSESSMENT and ONLY WANTING TO BE ISSUED WITH THE EXEMPLAR GLOBAL unit of competency, please contact




customer service;


SECTION TWO: ASSESSMENT PART 1






PART 1: Online Written Assessment Activities


Instructions

There are six practical assessment activities contained in the online course. These must all be successfully completed in order to gain the relevant unit(s) of competency.







Before you begin, please download the Crummy Cake Company case study from the Resources button on the course interface. You will need to review the case study in order to respond to the activity tasks.

Please complete these activities by placing your answers in the answer sections provided. Ensure you save the activities to your computer as you progress throughout the course. When you have completed all the activities, you can upload your document to the link provided at the end of this course.

Note:

You must be deemed to have satisfactorily completed all assessment tasks to be deemed competent in the relevant units of competency for this course. These can be found at the end of this assessment guide.

Note: Please refer to your Guidelines for Submitting Online Assessments which outlines your online assessment submission details. It is recommended that you refer to this document prior to completing your assessments.





Activity objective: The objective of this activity is to demonstrate how internal audits are planned for.

Task: Prepare an audit plan for an internal audit of the Pest Control procedure at The Crummy Cake Company, using the SQF standard as the criteria.

Please ensure that the audit plan covers at a minimum the following information:

The audit objectives - include a summary of the organisation‟s requirements to comply with and apply regulations, legal

requirements, industry codes of practice, and customer requirements to their management system.

The audit scope, including identification of the organizational and functional units as well as processes to be audited.

The audit criteria and any reference documents.

The audit methods to be used, including the records to be reviewed (samples) to obtain sufficient objective evidence and the design

of the sampling plan, if applicable.

The roles and responsibilities of the audit team members, as well as guides, technical specialists and observers (if appropriate)

SECTION 1: ONLINE WRITTEN ASSESSMENT ACTIVITIES




Do not forget to save your work to your computer after completing the task.

Date of audit

Company The Crummy Cake Company

Address 23, Phil Street, Baker‟s Avenue, MA

Contact Robin White

Products Frozen and fresh cakes and slices

Audit objectives

Audit scope

Audit Criteria

Applicable regulations, legislation, codes of practice.

Auditors

Roles and responsibilities of audit team and guides and observers (if appropriate).

Audit methods




Records to be reviewed (sampled)

Auditee requirements

Resources required

Expected duration

Start time

Audit timings





Activity objective: The objective of this activity is to demonstrate the ability to develop a checklist that will assist during the audit process.

Task: Your task is to develop a checklist for an audit that you will conduct on the Pest Control Procedure of The Crummy Cake Company.

Review the SQF Criteria for Pest Control shown in the first column of the checklist below.

For each clause, enter the checklist questions in the Checklist Prompt column of the table. The checklist you develop here will form a working document that you will continue to fill in for Activities 3 and 4 as well.

Do not forget to save your work to your computer after completing the task.

Requirement Checklist Prompt Objective Evidence Compliance

11.2.11 Management of Pests and Vermin

11.2.11.1 The methods and responsibilities for integrated pest management shall be documented and effectively implemented. The premises, its surrounding areas, storage facilities, machinery and equipment shall be kept free of waste or accumulated debris so as not to attract pests and vermin.

11.2.11.2 The pest and vermin management program

shall:

I. Describe the methods and responsibility for the

development, implementation and maintenance

of the pest and vermin management program;

II. Identify the target pests for each pesticide

application;





III. Outline the methods used to prevent pest

problems;

IV. Outline the pest elimination methods;

V. Outline the frequency with which pest status is

to be checked;

VI. Include on a site map the identification, location,

number and type of bait stations set;

VII. List the chemicals used (they are to be

approved by the relevant authority and their

Material Safety Data Sheets (MSDS) made

available);

VIII. Outline the methods used to make staff aware

of the bait control program and the measures to

take when they come into contact with a bait

station;

IX. Outline the requirements for staff awareness

and training in the use of pest and vermin

control chemicals and baits; and

X. Measure the effectiveness of the program to

verify the elimination of applicable pests.

11.2.11.3 Inspections for pest activity shall be

undertaken on a regular basis by trained personnel

and the appropriate action taken if pests are present.





11.2.11.4 Records of all pest control applications shall be maintained.

11.2.11.5 Pesticides and other toxic chemicals shall

be clearly labeled and stored as described in element

11.6.4 and handled and applied by properly trained

personnel. They shall be used by or under direct

supervision of trained personnel with a thorough

understanding of the hazards involved, including the

potential for the contamination of food and food

contact surfaces.

11.2.11.6 Pest control contractors shall be:

I. Licensed and approved by the relevant

authority;

II. Use only trained and qualified operators who

comply with regulatory requirements;

III. Use only approved chemicals;

IV. Provide a pest control management plan which

will include a site map indicating the location of

bait stations and traps;

V. Report to a responsible authorized person on

entering the premises and after the completion





of inspections or treatments; and

VI. Provide a written report of their findings and the

inspections and treatment applied

11.2.11.7 The supplier shall dispose of unused pest

control chemicals and containers in accordance with

regulatory requirements and ensure that:

I. Empty chemical containers are not reused;

II. Empty containers are labelled, isolated and

securely stored while awaiting collection; and

III. Unused and obsolete chemicals are stored

under secure conditions while waiting

authorized disposal by an approved vendor

11.6.4 Storage of Hazardous Chemicals and Toxic Substances

11.6.4.1 Hazardous and chemical and toxic

substances with the potential for food contamination

shall be stored so as not to present a hazard to staff,

product, packaging, product handling equipment or

areas in which the product is handled, stored or

transported.

11.6.4.2 Processing utensils and packaging shall not

be stored in areas used to store hazardous chemicals

and toxic substances.

11.6.4.3 Daily supplies of chemical used for





continuous sanitizing of water or as a processing aid, or for emergency cleaning of food processing equipment or surfaces in food contact zones, may be stored within or in close proximity to a processing area provided access to the chemical storage facility is restricted to authorized personnel.

11.6.4.4 Pesticides, rodenticides, fumigants and insecticides shall be stored separate from sanitizers and detergents. All chemicals shall be stored in their original containers.

11.6.4.5 Hazardous chemical and toxic substance

storage facilities shall:

I. Be compliant with national and local legislation

and designed such that there is no cross-

contamination between chemicals;

II. Be adequately ventilated;

III. Be provided with appropriate signage indicating

the area is a hazardous storage area;

IV. Be secure and lockable to restrict access only

to those personnel with formal training in the

handling and use of hazardous chemicals and

toxic substances;

V. Have instructions on the safe handling of

hazardous chemicals and toxic substances





readily accessible to staff;

VI. Be equipped with a detailed and up to date

inventory of all chemicals contained in the

storage facility;

VII. Have suitable first aid equipment and protective

clothing available in close proximity to the

storage area;

VIII. In the event of a hazardous spill, be designed

such that spillage and drainage from the area is

contained; and

IX. Be equipped with spillage kits and cleaning

equipment.





Activity Objective: The objective of this activity is to demonstrate the ability to conduct a compliance audit and to accurately identify and record the objective evidence.

Task: Your task is to conduct a compliance audit of the Pest Control procedure at The Crummy Cake Company.

Review the Crummy Cake Company case study, specifically the Pest Control procedures, Pest Control records and the Audit observations.

Then, using the same checklist you filled partially for Activity 2, conduct a compliance audit and record the objective evidence in the Objective Evidence column of the checklist.

Remember to save your work to your computer after completing the activity.





Activity Objective: The objective of this activity is to determine how non-conformities are classified.

Task: From the compliance audit completed in Assessment Activity 3, review your audit findings and then for any non-conformities identified classify them as Critical, Major or minor.

Review the objective evidence you recorded for The Crummy Cake Company's Pest Control procedure, and classify each non-conformity as Critical, Major or minor.

Enter your classification in the Compliance column of the same checklist you filled partially for Activities 2 and 3 .






Activity Objective: Generate Corrective Action Requests (CARs) for non-conformities identified during an audit.

Task: Your task is to generate CARs based on non-conformities determined during the audit of the Pest Control procedure at The Crummy Cake Company.

Based on the findings that you recorded in the checklist, generate two separate CARs for any two of the non-conformities noted. To generate the CARs, you will need to refer to all the previous information you have documented in the checklist, such as the objective evidence captured, the non-conformities identified, their classification, the criteria and the potential impact of the non-conformity on the organisation.

Use the CAR forms provided below.





CAR 1

Company Crummy Cake Company

Address 6 Sticky Way, Salmonella Town

Products

Date

Non-conformities

Reference Criteria

Evidence

Explanation/Effect

Name of the Auditor

Name of the Auditee

Corrective Action required

Date to be completed by

Auditee Signature

Follow up required

Evidence of Corrective Action

Date corrective action finalised

Auditor Signature




CAR 2

Company Crummy Cake Company

Address 6 Sticky Way, Salmonella Town

Products

Date

Non-conformities

Reference Criteria

Evidence

Explanation/Effect

Name of the Auditor

Name of the Auditee

Corrective Action required

Date to be completed by

Auditee Signature

Follow up required

Evidence of Corrective Action

Date corrective action finalised

Auditor Signature





Activity Objective: The objective of this activity is to complete an audit report which clearly summarises the results of the compliance

audit conducted in Activity 3

Task: From your compliance audit conducted on the Pest Control procedure at The Crummy Cake Company, complete an Audit Report which clearly summarises the results of the audit.

You will need to refer to all the previous information you have documented, such as the audit checklist, the objective evidence

captured, the non-conformities identified and the CARs raised for the audit of the pest control procedure.

You must include the requirements for audit completion and conducting audit follow-up


Audit Number

Audit Scope

Audit Criteria

Audit Date

Audit Location

Auditor(s):

Auditee(s)

Summary of audit findings:




Non-conformities:

Opportunities for improvement:

Strengths:

Conclusion:

Audit Follow up requirements:

Auditors name and Signature

Auditee’s name and Signature

Note: Please save your work and upload this Assessment Activity upon completion of this course.




SECTION THREE: ASSESSMENT PART 2




Section 2: General Questions


Instructions

A series of 26 short answer, multiple choice and scenario based questions based on what you have learnt during the IFSA course.

1. CONSIDERING RISK (5 points)

The purpose of this question is to consider how you would assess risk in your own organisation as an internal auditor.

a. Identify an important area within your organisation that may have potential risks.

b. List at least two types of information you would source to indicate risks within the area identified.

c. Who or what would you consult to determine the level of risk?

d. Briefly explain how these factors would influence the frequency of audits?




2. AUDIT OBJECTIVES (5 points)

The purpose of this question is to develop an audit objective and criteria against the audit scope when preparing to audit the area of your organisation identified in Question 1.

a. Determine the audit scope to conduct an internal audit against the area of your organisation identified in Question 1.

b. Describe any required compliance with relevant regulations, legal requirements, industry codes of practice, and customer requirements that would need to be included in the audit scope.

c. Write an audit objective to determine the goals for an audit against the audit scope.

d. Identify the criteria (internal and external) you would use to conduct the audit.




3. AUDIT PLAN (10 points)

The purpose of this question is to prepare you for developing an audit plan in order to conduct an internal audit against the area of your organisation identified in Questions 1 and 2.

Refer to Module 4 and question 2 to guide you in answering the following questions

a) List at least two forms of preliminary information you require prior to the audit?

b) What information needs to be communicated to the auditee?

c) Identify two methods/techniques that would be appropriate to conduct the audit (sources of objective evidence, e.g.: interviews)?

d) What factors would you need to consider in determining the size of the audit sample taken?

e) List at least three activities that you would include in the timetable (e.g. Opening Meeting)?

f) In terms of the feasibility of conducting the audit, describe at least 3 factors that should be considered when determining the feasibility of the audit.

g) Describe 3 ways in which cultural, language, or social issues may impact on the audit process when planning an audit, and the methods used by individual auditors or the audit team to address such impacts.




3A. AUDIT PLAN - TEAM ROLES (12 points)

What are the roles and responsibilities of audit team members, with each of the roles listed below.

1. Audit team leader

a. ___________________________________________________________

b. ___________________________________________________________

c. ___________________________________________________________

2. Technical experts

a. ___________________________________________________________

b. ___________________________________________________________

c. ___________________________________________________________

3. Guides

a. ___________________________________________________________

b. ___________________________________________________________

c. ___________________________________________________________

4. Observers

a. ___________________________________________________________

b. ___________________________________________________________

c. ___________________________________________________________




4. DOCUMENT REVIEW (5 points)

The purpose of this activity is to prepare you for conducting a document review within your organisation as an internal auditor.

Refer to the Module 4 and Questions 2 and 3 to guide you in answering the following questions:

a. Identify at least three types of documents you would review within your organisation as part of an internal audit in the area identified in Question 2.

b. Identify what evidence you would want to see to verify these in conducting your audit.

c. What components of the Food Safety Management System, relevant to the audit plan, should be reviewed / audited?

d. What other types of documents should be reviewed, other than the documents your organisation develops?




5. AUDIT GUIDANCE TOOLS (5 points)

The purpose of this question is to prepare you for developing audit guidance tools within your own organisation.

Consider the area of your organisation identified in Question 2, the document review preparation in Question 4 and the Assessment Activity 2: Prepare a checklist to guide you in answering the following questions:

a. What type of audit guidance tool would you adopt in planning an audit and why?

b. Reflecting on the audit guidance tool you developed in class, what would you do differently if you used this tool in your organization (in terms of design and or application)?




6. OPENING MEETING (5 points)

The purpose of this question is to prepare you for conducting an opening meeting in the area of your organization identified in Question 2 and 3 for the internal audit.

Refer to Assessment Activity 1: Prepare an Audit Plant to guide you in answering the following questions:

a. List the topics you would consider covering during an opening meeting in your organization against the planned audit scope.

b. How would you gauge that the opening meeting had been conducted successfully against the ISO19011:2011 guidelines?




7. CONDUCTING AUDIT INTERVIEWS (10 points)

The purpose of this question is to prepare you for conducting audit interviews within your organisation.

Using the scope of your audit identified in Question 2 and the sections Audit Principles in Module 3 and Questioning Auditees in Module 5 to guide you in answering the following questions.

a. List six attributes you consider important for an internal auditor within your organisation to display when conducting an audit interview specific to ISO19011:2011.

b. Why does an auditor use probing questions during an audit?

c. Provide an example of a probing question you would use in conducting an audit interview in the area of your organisation identified in Question 2.




8. VERIFYING/EVALUATE EVIDENCE AND WRITE NON-

CONFORMANCE STATEMENTS (5 points)

The purpose of this question is to prepare you for analysing/evaluating the evidence you collect in conducting your audit to verify its validity, sufficiency and accuracy and prepare for determining audit findings within your organisation.

Refer to Module 6: Concluding an Audit and Assessment Activity 4: Classify Non-Conformities to guide you in answering the following questions:

a. What would you need to consider, ensuring the evidence collected is relevant to the audit criteria and objectives?

b. When would you consider it necessary to consult/request appropriate assistance to verify evidence? .

c. Reflect on the Corrective Action Requests written in class and identify the requirements/components/criteria for writing Non-Conformance statements in your organisation.




9. FEEDBACK MEETING (5 points)

The purpose of this question is to prepare you for conducting a closing/feedback meeting within your organisation.

Using the area within your organisation identified in Question 2 and refer to the Module 6 to guide you in answering the following questions:

a. Briefly describe what you would review in preparing for a feedback meeting.

b. What are four topics that should be covered in your feedback meeting?




10. AUDIT REPORT (10 points)

The purpose of this question is to prepare you for developing an audit report within your organisation.

Using the area within your organisation identified in Question 2 and refer to Module 6 and Assessment Activity 6: Create an Audit Report to guide you in answering the following questions:

a. List five components that should be included in your audit report.

b. Reflecting on the audit report created in class, explain what you would need to consider in developing an audit report within your organisation?




11. AUDIT FOLLOW UP AND REVIEW (10 points)

The purpose of this question is to prepare you to identify that deficiencies identified during the audit have been corrected during your follow-up audit. It also ensures your activity as an internal auditor contributes to the continual improvement/review of your organisation‟s management systems.

Refer to Module 6 to guide you in answering the following questions:

a. List at least three sources of information that could be gathered to determine if identified deficiencies have been corrected?

b. What would you do if those identified deficiencies were not corrected within the agreed timeframe?

c. Briefly describe how would you review the effectiveness of the audit and its contribution to the continual improvement of your organisation‟s management systems?




12. EFFECTIVE COMMUNICATION AND PERSONAL BEHAVIORS (10 points)

The purpose of this question is to ensure that as an auditor you use effective communication when managing conflict and that you maintain the personal behaviours as shown in ISO 19011.

Review the scenario and the responses provided.

1. Select the statement that would be most appropriate to a food safety auditor that would demonstrate the personal behaviours shown in ISO 19011.

2. Comment on the suitability of each response and the possible impact on the audit, auditor and auditee. When answering this question, consider the personal requirements of an auditor as outlined in ISO 19011.

Refer to Module 5 to guide you in answering the following questions.

At the end of a long audit of Crummy Cakes your audit report identified an undisclosed allergen in the labelling of a product. During the closing meeting you raise this as a critical non-conformity.

John, the labelling manager gets upset with your decision and says: „if you do that, it means we have to stop supply today which will cost the business in excess of $10, 000, we can fix this issue overnight before the next labelling run‟

How do you respond?

Response A.

“I appreciate the consequences to the business and therefore, if you can guarantee me that the problem will be fixed by 9am tomorrow, I will be satisfied and then we can overlook this in the audit report”.

Response B

„Are you questioning my audit judgment John‟?

Response C I appreciate the consequences to the business , but as a supplier to Happy Supermarkets this represents a risk to consumers that cannot be overlooked

Rajan

Typewritten Text

Rajan

Typewritten Text




Response D

“This should have been rectified earlier.

All I am doing is highlighting the fact that

nothing has been done since then”.

Note: Circle one response only for each question.

QUESTION 13 (1 point)

An internal audit is also known as a:

Third party audit

Second party audit

First party audit

Certification audit

All of the above


An internal auditor must have knowledge of:

The way in which regulations, legal requirements and codes of practice are applied within the system

Effective communication techniques

Interview techniques

The audit criteria

All of the above


Audit evidence and findings must be:

Recorded accurately

Analysed

Prioritised

Summarised

All of the above





Which of the following responses would be inappropriate in an audit situation where conflict had arisen?

Listening

Aggressive language

Persuasion

Empathy

All of the above


It would be unfeasible to conduct an audit if:

The auditor gets too busy

There is insufficient information on which to base the audit

The auditee is supportive of the audit

None of the above

All of the above


During planning and conducting the audit, the auditor must consider:

Any cultural, religious or social customs

Confidentiality of information

The appropriateness of the criteria, relevant standards and the management system

Techniques for establishing a positive relationship with the auditee

All of the above




QUESTION 19 (10 points)

List six (6) Principles of Auditing, as defined by ISO 19011:2011 and provide an example of each principle in your own words.





Briefly explain the importance of defining and adhering to the agreed scope, objectives and criteria of the audit.


Are the following statements true or false? (Mark As “T” or “F” in the space provided.)

Only that part of the system relevant to the criteria or audit plan should be audited.

The size and type of the business is not considered when developing the audit plan.

Document reviews should be conducted with the relevant audit criteria.

Any omissions or deviations from the original plan should be recorded.

All reports and notes should be thrown away at the end of the audit.





Briefly explain the importance in which cultural, language, or social issues may impact the audit process and methods used by individual auditors or the audit team to address such impacts.


Briefly explain the importance of confidentiality and the ways in which auditors can ensure confidentiality and information security (maintain audit reports and notes, not discussing audit information etcetera).





Which of these is NOT one of the expected responsibilities of an auditor who is selected as a member of an audit team?

Preparing working documents under the directions of the Lead Auditor

Collecting and analyzing audit evidence to determine audit findings

Determining that the audit objectives have become unattainable and reporting the reasons to the client and the auditee

Safeguarding documents pertaining to the audit


Which of these tasks is the responsibility of a Lead Auditor and should NOT be performed by any other audit team member?

Documenting individual audit findings

Planning and carrying out assigned tasks objectively

Preparing and communicating the audit plan to the auditee and client

Reporting audit evidence in an orderly manner





Briefly list five ways in which an auditor can comply with the IRCA and/ or Exemplar Code of Conduct:




AUSTRALIA ONLY

OTHER REGIONS DO NOT COMPLETE

SECTION FOUR: ASSESSMENT PART 3

AUSTRALIA ONLY






Instructions

This post course assessment task consists of the submission of 3 assessment tasks to be conducted in the workplace.

NB: All evidence outlined below must be submitted. If organisational confidentiality is a concern, the identifying names of people & organisations may be blacked out or replaced with pseudonyms.

Note:


For Australian students NOT WANTING TO COMPLETE THE POST COURSE ASSESSMENT and ONLY WANTING TO BE ISSUED WITH THE EXEMPLAR GLOBAL unit of competency, please contact customer service;


Workplace Evidence Item 1

Audit Plan – for a food safety management systems audit

Include:

– Copy of the audit tools (e.g. checklists etc.) and indicate any modifications you have made if you did not prepare the original tool(s)

– Copy of the audit plan

Workplace Evidence Item 2:

Audit Report – for a food safety management systems audit

Include:

– Copy of the completed audit report from the audit conducted

Workplace Evidence Item 3:

Supplementary Workplace Evidence – submission of a third party report

Include:

– Completed third party audit observation from your workplace observer




55 | www.saiglobal.com


POST COURSE ASSESSMENT

Attendees of the SAI Global‟s Internal Food Safety Auditor Course, wishing to obtain a Certificate of

Attainment in the two AQF units of competency are requested to submit a report, as listed below, for

marking.

You must satisfy the requirements of all three assessment tasks in order to be deemed satisfactory. If

you are deemed satisfactory in all assessment tasks contained in the Internal Food Safety Auditor

course, you will be deemed competent in the relevant units of competency.

Feedback on the submission will be returned with the report.

The assessment is to ensure that attendees understand the principles of internal auditing and are able

to provide a suitable report for internal use, including management review.

The assessment is also to ensure that attendees understand the importance of corrective action and

follow-up via the internal audit tools.

Participants acting as consultants to food businesses

For those participants acting as consultants to food businesses, you are to undertake the following

assessment activities as above on a client HACCP Plan with the following additional information:

Contact name or auditee name, company name and phone number, date of audit for

verification




Assessment Details

Undertake an internal audit and provide a report which identifies the forms that are used

for monitoring and corrective action along with any findings from the audit.

Provide a report on the corrective actions undertaken and evidence that corrective actions

have been followed up.

Specify the start and finish dates of the records reviewed – ensure that the audit covers at

least one month‟s review of records.

Supply a summary of the overall audit via a report.

*Note:

A copy of the HACCP plan (as least those parts covering CCPs and QCPs) needs to be

submitted with the assessment.




1: Preparation of two Audit Plans

For those who work for a Company with a documented and implemented HACCP Food Safety

Program, you are to prepare two audit plans and undertake an internal audit of

(i) Good Manufacturing Practices

a. Develop an audit plan and checklist focusing on at least at least one GMP area

b. The plan must include the audit of evidence that food safety skills and knowledge

of food business personnel is commensurate with their work role for the relevant

work area

(ii) Critical Control Points (and Quality Control Points where applicable) in one HACCP

Plan using the following tools:

a. Develop an audit plan and checklist focusing on at least two (2) steps that are

CCPs (and QCPs), identify what the critical limits are and check that monitoring

and corrective action is being undertaken in accordance with the monitoring

procedure (to include what, how, where, when and who).

Ensure that each of the two audit plans cover as a minimum, the following information:

1. Evidence of the scope and purpose of the audit – specific standards/ legislative/

industry codes of practice/ customer requirements must be referenced as

applicable the scope and application of the audit plan is appropriate to the size,

risk, and type of auditee organization. You must include a summary of sampling

arrangements.

2. Document the roles and responsibilities of the audit team leader, audit team

members, and technical experts

3. Evidence of the audit checklist and /or documentation to be used.

4. Summarise your communications plan and strategies. E.g. who/ how/ what?

5. Include the audit report distribution list/ process in the audit plans

6. Evidence of confirmation of the auditee prior to conducting the audit and any

resources to be used during the audit.

7. A summary of potential audit constraints and issues and how these will be

addressed in the audit e.g. language, cultural, social, security issues etc.

8. Evidence of consultation with the auditing team on determining auditing methods

and techniques (where applicable).

NB: If the audit was conducted within your own business some of these requirements may not be relevant. However you will need to adjust the audit plan so that this information is provided, to be deemed competent.




2: Copy of detailed Audit Report and any supporting evidence

Provide a detailed audit report that you have prepared as a result of participating in an audit in a team situation. Make sure the report covers, as a minimum, the following information:

1. Evidence of documents and records which were requested prior to the onsite audit

and during the onsite audit as part of the document review, for review and in what

context these were selected (this information can be provided via the audit

checklist you have used), plus evidence of your assessment of these documents

and records via notes etc.

2. Evidence of who participated in the entry meeting for the onsite audit, their

positions etc. and a summary of what was covered in the entry meeting. A sign on

sheet must be provided as evidence of attendees and the agenda of the opening

and closing meetings. Evidence of your contribution during entry and exit meeting

must be provided.

3. Evidence of who was interviewed (i.e. their role and/or position – without using full

names) in relation to the documents and records and why.

4. Evidence of any issues that may have arisen during the audit and how these were

resolved e.g. how any conflict, etc. may have been dealt with (either within the

audit team or with the auditee).

5. Provide evidence of actions taken in circumstances requiring the audit plan to be

adjusted are identified and negotiated in a timely manner

6. Evidence of identification of any trends and areas of risk that may have been

identified.

7. Evidence of how the information has been evaluated against the audit

criteria/objectives (legislation/standards, etc.) including evidence of how you

arrived at issuing any Corrective Action Requests.

8. Evidence of audit findings (including summary) and any areas for improvement as

well as Corrective Action requests.

9. Evidence of the discussions in the exit meeting and evidence of agreement to

follow up Corrective Actions etc. with the auditee.

10. Review the audit process and identify opportunities for improvement. As part of

the audit review the corrective action implementation plan defining proposed

actions and timelines developed by the auditee

11. In your audit report Identify and report patterns, trends, interrelationships and

areas of risk in relation to the management system




3: Supplementary Workplace Evidence

AUDIT EVALUATION AND VERIFICATION FORM

WORKPLACE OBSERVER TO COMPLETE:

Third Party Information & Declaration

Note to Observer As part of the assessment for this unit of competency, the Assessor is seeking confirmation of the Candidate’s workplace performance. This proforma should be completed by someone who has had the opportunity to closely observe the Candidate’s performance over a period of time. This is NOT an assessment of performance, but will add to the portfolio of evidence provided to the assessor to determine the candidate’s competence against the relevant units of competency.

Name of Third Party Observer:

Work Telephone:

Work E-mail:

What is your relationship to the candidate?

How long have you worked with the candidate?

What is your experience and/or qualification(s) in the area of food safety Management Systems?




Third Party Declaration:

I have completed the Third Party Observation Report below. I understand that my role in this assessment process is to provide evidence of the application of skills and knowledge by the candidate in the workplace over time and not to provide assessment of the actual competence of the candidate.

Overall, is the candidate able to:

Plan a food safety audit? YES NO

Conduct or participate in a food safety Audit as part of a team

YES NO

Evaluate and benchmark food safety data? YES NO

Evaluate and audit the organisation‟s arrangements for identifying food safety hazards?

YES NO

Evaluate and audit the organisation‟s food safety/ HACCP monitoring processes?

YES NO

Evaluate and audit the organisation‟s management of food safety risks

YES NO

Report on a food safety Audit? YES NO

Review corrective actions following a food safety audit?

YES NO

Third Party Signature:________________________ Date: ___________




Third Party Verification

Name of Auditor (Candidate):

Date of Audit:

Name of Organization audited:

Name of Observer:

During the course of the audit observed by you: Yes No

Was the auditor prepared for the audit?

Were the objective, scope and criteria of the audit clear to you?

Did the auditor evaluate and audit the organisation‟s arrangements for identifying food safety hazards?

Did the auditor evaluate and audit food safety management monitoring processes

Did the auditor evaluate and audit the organisation‟s management of food safety risks

Was the communication between you and auditor throughout the audit clear and appropriate?

Was the auditor flexible with regards to the Audit Plan?

Did the auditor invite and listen to feedback about the audit from you?

At the closing meeting were non-conformances and/or the overall food safety performance of the organisation clearly explained?

Was the audit report submitted within the agreed time frame?

Was the audit report a complete, accurate, concise and clear record of the audit conducted?

Overall what worked well?




What could be improved?

* Signature: Date:

Position:

Organisation:

*This form is to be completed by the person observing the audit. The Auditor named will submit it to an SAI Global Assessor for the purpose of their personal learning assessment requirements. The Assessor may need to contact you to verify the authenticity of this report and by signing this

form you agree to be contacted.




SECTION FIVE: UNITS OF COMPETENCY




Competency and Performance Criteria

EXEMPLAR GLOBAL: AU MANAGEMENT SYSTEMS AUDITING Unit Descriptor

Element Performance Criteria

1 Understand the application of the principles, procedures and methods of auditing.

1.1 The principles, procedures and methods of auditing, as outlined in ISO 19011:2011, are understood and applied.

1.2 The terms and definitions of ISO 19011:2011 are understood and applied.

1.3 The process of establishing audit objectives is understood, including inputs, risks, the structure of the audit, and the extent of an audit programme or individual audits.

1.4 Based on the auditee‟s business and operations, the audit scope and relevant criteria are identified ensuring they are aligned to the audit objectives.

1.5 An audit plan is developed to meet the audit objectives, scope, and criteria. The feasibility of an audit is considered in the audit initiation process.

1.6 A document review is performed.

1.7 Information is collected and reviewed in preparation for developing appropriate work documents. Work documents are prepared and made available relevant to their role in the audit, and the proper use of these is understood.

1.8 All aspects of the on-site audit activities are understood and applied.

The purpose and content of the opening meeting is understood.

The role of communication and the types of information that should be communicated throughout an audit are understood. Communication methods and link between auditor and auditee are understood.

The roles and responsibilities of audit guides and observers are understood.

Work documents are used appropriately and as necessary to record audit findings.

Audit evidence is collected based on verifiable information.

Audit findings are generated and reviewed in order to prepare audit conclusions. Findings are appropriately documented for the type of audit being performed.

The purpose and content of the closing meeting is understood.

1.9 An audit report is prepared and distributed as outlined in ISO 19011:2011.

1.10 Requirements for audit completion and conducting audit follow-up are established, understood, and applied.

2 Understand the 2.1 Audits are conducted in accordance with the audit scope using




conduct of an effective audit in the context of the auditee’s organizational situation

relevant documents that identify the audit criteria for a given audit.

2.2 Sampling techniques and plans are used in the audit process and adjusted as necessary to meet the audit objectives, scope, and criteria, and in consideration of the audit risks.

2.3 The application of the audit plan is appropriate to the size, risk, and type of auditee organization.

2.4 The roles and responsibilities of the audit team leader, audit team members, and technical experts are understood.

2.5 The potential impact of cultural, language, and social issues or characteristics on the audit process are identified and addressed.

3 Understand the application of the regulations, and other considerations that are relevant to the audit, the management system, and the conduct of the audit

3.1 Understand how organizations comply with and apply regulations, legal requirements, industry codes of practice, and customer requirements to their management system.

4 Practice personal behaviours necessary for the effective and efficient conduct of a management system audit

4.1 Effective and efficient means of communication are used.

4.2 Interview skills are used to effectively acquire information within the scope of the audit.

4.3 The requirements for confidentiality, information security, and proprietary information are understood and applied.

4.4 Personal behaviours as listed in ISO 19011:2011 are demonstrated.




AUSTRALIA ONLY: Competency and Performance Criteria

FDFAU4001A Assess compliance with food safety programs

Unit Descriptor


Elements describe the essential outcomes of a unit of competency.

Performance criteria describe the required performance needed to demonstrate achievement of the element. Where bold italicised text is used, these are detailed in the range statement. Assessment of performance is to be consistent with the evidence guide.

1 Plan the audit 1.1. An audit plan is developed to meet the audit scope

1.2. The plan is capable of delivering the required outcomes within resource and time allocations

1.3. Plan includes audit purpose, scope and relevant templates or approved food safety program

1.4. Activities and responsibilities for the audit are identified

1.5. Audit timing (as required by legislation and/or client) is identified including timetable for each stage of the audit

1.6. Resource, personnel and reporting requirements are identified

1.7. Follow up and completion procedures are identified

1.8. Communication protocols are identified and established to facilitate the effective exchange of information and suited to the auditee environment

2 Confirm that the food business has documented required preliminary work

2.1. The food and the method of distribution are defined

2.2. Customers and intended use of food is identified

2.3. The process is described and documented

2.4. The food business has checked their documentation for accuracy and completeness

2.1. The food and the method of distribution are defined

3 Confirm the food safety program is supported by a tool or template or has been validated

3.1. The documented food safety program and related procedures and prerequisite programs are assessed to confirm that they have a prescriptive tool or have been validated by a technical expert

3.2. The food business method of identifying and analysing food safety hazards is reviewed

3.3. Templates or the approved food safety program are correctly selected to meet audit scope

3.4. Templates or the approved food safety program are appropriately adapted to suit the needs of the business without adversely affecting food safety

3.5. Documented verification records are reviewed to confirm that the requirements of the food safety program are being met

3.6. Corrective actions required where processes are identified as not meeting targets or critical limits are assessed to confirm they meet the requirements of the template or food safety program

3.7. Food safety prerequisite programs are assessed to confirm they are appropriate for the food business/industry sector to maintain a safe food environment

3.8. Food safety program documents are reviewed to confirm currency, accuracy and adequacy to facilitate maintenance of an adequate food safety program

3.1. The documented food safety program and related procedures and




prerequisite programs are assessed to confirm that they have a prescriptive tool or have been validated by a technical expert

3.2. The food business method of identifying and analysing food safety hazards is reviewed

4 Collect evidence to review and assess implementation of food safety programs

4.1. Evidence is collected to confirm that documented programs and procedures are working effectively, reflect actual practice and are consistently applied

4.2. Evidence is collected to confirm that food safety monitoring and corrective actions are carried out according to procedure

4.3. Evidence is collected to confirm that safety prerequisite programs are effective and consistently followed

4.4. Evidence is collected to confirm that food safety records are completed and provide an accurate record of events

4.5. Evidence is collected to confirm that records are accessed and analysed to confirm effective program maintenance in accordance with the template or food safety program

4.6. Evidence is collected to confirm that food safety skills and knowledge of food business personnel is commensurate with their work role

4.7. Evidence is collected to confirm that the food safety program has been internally monitored and assessed, updated and improved by a technical expert

4.1. Evidence is collected to confirm that documented programs and procedures are working effectively, reflect actual practice and are consistently applied

5 Manage the audit process

5.1. Audit progress is monitored against the audit plan and any variation to plan is identified and addressed

5.2. Circumstances requiring the audit plan to be adjusted are identified and negotiated in a timely manner

5.3. Audits address audit scope and are conducted within time and resource constraints to meet quality and professional standards

5.4. The audit process is reviewed to identify opportunities for improvement

6 Consolidate audit outcomes

6.1. Audit evidence is analysed and assessed to identify any areas of non-compliance with legislation and/or the food safety program

6.2. Non-conformities are identified and classified as agreed by the audit plan

6.3. Non-conformities are reported in accordance with agreed client and/or legislative requirements

6.4. Audit reports and/or certificates are prepared and submitted or presented as required to meet regulatory and client requirements

6.5. A corrective action implementation plan defining proposed actions and timelines developed by the auditee is reviewed by the auditor to confirm that template or food safety program requirements are met

6.6. Audit findings are reviewed to confirm that evidence is sufficient as defined by the template or approved food safety program

7 Confirm and close out corrective actions

7.1. Implementation and effectiveness of corrective action is monitored and verified against the template or the approved food safety program

7.2. Audit records are maintained to record corrective actions

Critical aspects for assessment and evidence requirements

Evidence of the following is essential:

Confirm that the food safety program and/or template is appropriate to the activities of the business

Review food safety program records to assess compliance




against the approved food safety program and/or template

Collect and analyse evidence to confirm that the food safety program is consistently followed and controls all critical risks

Identify circumstances where variation or customising of the template or food safety program requires further validation

Submit non-compliance reports to clearly identify the aspects of the food safety program that have broken down/need further development in order to prevent recurrence.




AUSTRALIA ONLY: Competency and Performance Criteria

BSBAUD402B Participate in a Quality Audit

Unit Descriptor This unit describes the performance outcomes, skills and knowledge required to prepare for and participate in a quality audit as a member of a quality audit team. The process includes reviewing designated documentation; identifying and developing checklists and audit related documentation; preparing audit schedules; gathering, analysing and evaluating information; and reporting findings to the lead auditor. No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.

Application of the Competency This unit applies to individuals working in a team audit environment who analyse and evaluate information from a variety of sources to provide solutions to auditing issues, including unpredictable quality auditing problems. The types of audit may include an external or internal systems audit or process or product/service audit. Leading an audit team is addressed by BSBAUD503B Lead a quality audit.


Elements describe the essential outcomes of a unit of competency.

Performance criteria describe the required performance needed to demonstrate achievement of the element. Where bold italicised text is used, these are detailed in the range statement. Assessment of performance is to be consistent with the evidence guide.

1 Review auditee documentation

1.1 Where applicable, review auditee's previous quality audits to establish possible impact on the conduct of the current audit

1.2 Request relevant organisational documents from auditee, and review and check the adequacy of these documents

1.3 Amend reviewed documents, and determine and source any further documentation required

1.4 Resolve issues which arise with auditee and relevant parties

2 Participate in developing audit schedules

2.1 Access or prepare appropriate checklists/tools and audit related documentation

2.2 Confirm schedules and required resources with auditee before beginning auditing activities

2.3 Anticipate possible issues and outline strategies to address these issues, should they arise

2.4 Ensure preparation activities and documentation correspond to the audit plan

2.5 In consultation with auditing team, determine appropriate methods and techniques

2.6 Assist lead auditor in creating entry and exit meeting agendas

3 Gather and analyse

3.1 Access a range of potential sources of information

3.2 Collect and make an initial assessment of sample




information documentation

3.3 Interview appropriate persons in relation to relevant documentation

3.4 Identify and report patterns, trends, interrelationships and areas of risk

3.5 Identify aspects of the audit that require the use of specialists and request appropriate assistance

4. Evaluate information

4.1 Evaluate information against prescribed benchmarks

4.2 Form a defensible opinion as to the meeting of these benchmarks by the auditee

4.3 Ensure opinions are formed from and supported by available information

5. Report findings 5.1 Formulate findings and prepare a corrective action report if discrepancies or non-compliances are detected

5.2 Examine results/findings against audit objectives and present to lead auditor

5.3 Report recommendations for improvements as applicable

6. Participate in exit meeting

6.1 Prepare for exit meeting

6.2 Ensure reporting arrangements are agreed upon and documented during the meeting

6.3 Ensure context and consequences of audit are explained, and follow-up is discussed

Critical aspects for assessment and evidence requirements

Evidence of the following is essential:

Access to an actual workplace undertaking a quality audit or a simulated workplace environment

Access to workplace documentation including previous quality audit reports, checklists, risk management plans and audit plans.

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